Kurt Oswald
Kurt Oswald is a registered investment advisor at LPL Financial LLC, based in Peoria, AZ, with 24 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
8877 W. Union Hills Dr., Suite 540, Peoria, AZ, 85382
Get directionsHistory
Regulatory History (1)
Customer Dispute
November 2011Other Business ActivitiesSells Insurance
Kurt operates Validus Financial Associates PLLC as a DBA for his LPL business, dedicating nearly full-time hours to it. He also participates in medical research testing and owns Oswald Financial, LLC for tax/investment purposes, and receives non-variable insurance trails, each taking minimal time.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Lincoln Financial Advisors Corporation
Lincoln Financial Advisors CorporationBroker
Wfg Advisors, LP
Wfg Investments, INC.Broker
UBS Financial Services INC.Broker
Piper Jaffray & CO.Broker
Morgan Stanley Dw INC.Broker
State Registrations10 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.